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a. With each task order proposal, the Consultant shall submit an Anticipated Participation Plan forTask Orders that documents all DBE and/or ESB Subconsultants that will be used to completethe work of the task order. If the Consultant has not obtained any Commitments, the Consultantshall state so. If the Consultant is a certified firm, it shall include itself on the AnticipatedParticipation Plan for Task Orders.b. The project cost worksheet shall constitute confirmation of the Commitment by the DBE or ESBSubconsultant. The Consultant must submit a letter of intent confirming the Commitment for anyvendor Subconsultant for which a project cost worksheet is not provided.c. If, on a task order the Consultant does not obtain sufficient participation to meet the DBEContract Goal or the ESB participation Small Business Target, the Consultant shall provide anexplanation of its Good Faith Efforts to obtain participation by submitting a Good Faith EffortsReport and supporting documentation. The Consultant may include an explanation of proposedparticipation on future task orders.d. If the applicable civil rights office determines the Consultant has not made Good Faith Efforts,the contract and/or task order proposal will not be approved. The determination of the regionalcivil rights office may be appealed to the Regional Transportation Director. The determination ofthe Civil Rights and Business Resource Center shall be appealable to the Chief Engineer.VII.Eligible DBE and ESB ParticipationThe following rules will be used to determine whether work performed by a Subconsultant qualifies as eligibleparticipation to count toward the Contract Goal or Small Business Target:a. The work performed by the DBE and/or ESB Subconsultant must be identified in an approvedCommitment.b. The Subconsultant must be certified upon submission of the Commitment and prior to starting work.For DBE firms, this includes being certified in the work to be performed. CDOT will evaluate whetherthe work to be performed can reasonably be construed to fall under the Work Codes in which the DBE iscertified. If a Subconsultant is decertified after the issuance of a contract and/or task order, theparticipation on such contract and/or task order by that DBE or ESB will continue to count.c. Only work performed by a DBE and/or ESB that performs a Commercially Useful Function in the workof the contract will count.d. When a DBE and/or ESB subcontracts part of the work of its contract to another firm, the value of thesubcontracted work may only be counted if the subcontractor is also a certified firm. Work that a DBEand/or ESB subcontracts to a non-certified firm does not count. DBE and ESB firms may use anemployee leasing company. Such participation will count if the certified firm maintains an employeremployee relationship with the leased employees. This includes being responsible for hiring, firing,training, assigning, and otherwise controlling the on-the-job activities of the employees, as well asultimate responsibility for wage and tax obligations related to the employees.d. The Consultant may count fees or commissions charged for providing a bona fide service, such asprofessional, technical, consultant or managerial services and assistance in the procurement of essentialpersonnel, facilities, equipment, materials or supplies required for performance of the Contract, providedthat the fee or commission is determined by CDOT to be reasonable and not excessive as compared withfees customarily allowed for similar services.4

e. Unless certified in the work to be performed, staffing agencies only count toward the Contract Goal forplacement fees and any hourly fee beyond the temporary employee’s actual rate of pay.f. When a DBE and/or ESB performs as a participant in a joint venture, only the portion of the total dollarvalue of the contract equal to the distinct, clearly defined portion of the work of the contract that theDBE and/or ESB performs with its own forces may count toward the Contract Goal. In order to receivecredit, the joint venture agreement must be submitted as an attachment in the utilization plan submittedthrough B2G software and be reviewed by CDOT.g. For purposes of determining whether the Consultant has met the Contract Goal and/or Small BusinessTargets at the end of the Contract, eligible participation shall be calculated based upon the total amountpaid to DBEs and/or ESBs under the contract.VIII. PLAN MODIFICATIONSTermination or Reduction of Commitments shall only be permitted at the discretion of CDOT based upon ademonstration of good cause by the Consultant. Consultants may request modification approval by submittingto CDOT a revised Anticipated Participation Plan for Task Orders or a modification request through B2G. TheConsultant may not Terminate or Reduce a Commitment without CDOT approval.a. Before requesting CDOT approval, the Consultant must give the DBE and/or ESB Subconsultant noticein writing of the Consultant’s intent to Terminate or Reduce the Subconsultant’s work, and provide acopy of the notice to CDOT. Unless otherwise waived in writing by the DBE or ESB, the Consultantmust give the DBE/ESB five (5) days to respond to the Consultant's notice and advise CDOT of thereasons, if any, that it objects to the proposed Termination or Reduction and why the Consultant’s actionshould not be approved. If required as a matter of public necessity (e.g., safety), CDOT may waive orreduce the period to respond. The DBE/ESB firm may also voluntarily waive the response period.b. A Consultant must have good cause to terminate or reduce the work. Examples of good causejustifications can be found in 49 CFR Part 26.53(f)(3).c. When a Commitment is Terminated or Reduced, or a small business fails to complete its work on theContract for any reason, the Consultant shall make Good Faith Efforts to find another firm to perform atleast the same amount of work under the Contract. For as-needed, task order-based contracts, theConsultant may make the work up on the applicable task order or on another task order under thecontract.d. Following the five (5) day response period for Termination or Reductions, the Consultant shall requestthe Termination or Reduction from CDOT by submitting a revised Anticipated Participation Plan forTask Orders or a modification request through B2G. If the Consultant is unable to find commensurateSubstitution, the Consultant shall provide documentation of the Consultant’s Good Faith Efforts toCDOT within seven (7) days, which may be extended for an additional seven (7) days if necessary at therequest of the Consultant. CDOT shall provide a written determination to the Consultant stating whetheror not Good Faith Efforts have been demonstrated.e. A Consultant shall not be entitled to payment for any work or material performed by an unapprovedDBE or ESB Subconsultant as a result of an unapproved Termination or Reduction of a certifiedSubconsultant. Additionally, the Consultant shall not receive payment for any portion of the Contract inwhich the Consultant did not demonstrate Good Faith Efforts to meet the Contract Goal or SmallBusiness Targets. The Consultant will not be subject to duplicate reduction for the same offense. CDOTmay adjust the payment reduction wherein the Consultant demonstrates Good Faith Efforts.5

IX. ENFORCEMENTa. CDOT may conduct reviews or investigations of participants as necessary. All participants, including,but not limited to, DBE Subconsultants and applicants for DBE certification, ESB Subconsultants andapplicants for ESB certification, complainants, and Consultants using Subconsultants to meet theContract Goal are required to cooperate fully and promptly with compliance reviews, certificationreviews, investigations, and other requests for information.b. If CDOT determines that a Consultant or Subconsultant was a knowing and willing participant in anyintended or actual subcontracting arrangement contrived to artificially inflate DBE and/or ESBparticipation or any other business arrangement determined by CDOT to be unallowable, or if theConsultant engages in repeated violations, falsification or misrepresentation, CDOT may:i.Refuse to count any fraudulent or misrepresented DBE/ESB participation;ii.Withhold progress payments to the Consultant commensurate with the violation;iii.Reduce the Consultant’s prequalification status;iv.Refer the matter to the Office of Inspector General of the US Department of Transportation forinvestigation; and/orv.Seek any other available contractual remedy.c. CDOT may withhold approval of task orders and/or payment to the Consultant for failure to complywith these requirements.6

COLORADO DEPARTMENT OF TRANSPORTATIONAFFIDAVIT OF SMALL BUSINESS PARTICIPATIONProject Name:DBE Contract Goal:Section 1. Consultant Information.Consultant:Contact Name:Consultant is an ESB:Consultant is a DBE:Contact E-mail:Contact Phone #:Section 2. Participation & Incentive Scoring.DBE Participation Plan (mandatory):Work AreaApproximate Percentage of ParticipationSmall Business Targets (optional for incentive points): Check all that apply and include the number of applicable firms in the underlined blank space. Thissection will be evaluated for incentive point scoring. Teaming relationships will be tracked starting on July 14, 2016, thus, all relationships can be considered anew relationship starting on this date. To receive credit for new teaming relationships and Level 1 ESB participation, each firm must perform at least 50,000 or2% of the work, whichever is less.The consultant commits to Level 1 ESB firm(s).The consultant commits to DBE/ESB firm(s) not teamed with in the past 3 years.The consultant commits to % of ESB participation (The total of all ESB participation should be indicated in the blank space).Section 3. AffidavitThe Consultant affirms that:The Consultant shall make good faith efforts to meet the contract goal on the overall contract and each task order. The consultant understands thatmaking good faith efforts to achieve the contract goal is a condition of contract award. The consultant understands that promised participation is a bindingobligation of the contract, if awarded. The consultant attests that the information above is true and understands that a fraudulent misrepresentation orfailure to make good faith efforts to meet the contract goal or promised participation may result in the withholding of progress payments, reduction ofprequalification status, referral of the matter to the Office of Inspector General of the US DOT, and/or other contractual remedies.By signing below, the consultant affirms that the statements made in this document are true and complete.I, , am the of .(Name)(Title)(Consultant Company Name)(Signature)(Date)7

Project Name:COLORADO DEPARTMENT OF TRANSPORTATIONANTICIPATED PARTICIPATION PLAN FOR TASK ORDERSContract PlanTask Order PlanTerminationContract Amount:SubstitutionAttach all required information for terminations and/or substitutions.If Applicable:Task Order #:Task Order Amount:Total Amount Encumbered to Date(Not including current T/O):Section 1. Consultant Information.Consultant:Prompt Pay Compliance Contact Name:Consultant is an ESB:Consultant is a DBE:E-Mail:Address:Phone #:Section 2. Summary of Small Business Targets.Contract Goals: DBE Contract Goal:Small Business Targets: This section must be identical to the Affidavit of Small Business Participation submitted with the consultant’s SOI.The consultant committed to DBE/ESB firm(s) not teamed with in the past 3 years (each firm must perform at least 50,000 or 2% of the work, whichever is less).The consultant committed to Level 1 ESB firm(s) (each firm must perform at least 50,000 or 2% of the work, whichever is less).The consultant committed to % of ESB participation (The total of all ESB participation should be indicated in the blank space).Section 1.01Section 3. Participation Plan.Firm NameCertifications(Subconsultant, or consultant if self-performing)DBEESBWork CodeWork to be PerformedNAICSCommitmentAmountDescriptorCode New DBE or ESB Firms Being Utilized:Level 1 ESB Being Utilized:Summary:DBE Participation : %ESB Participation: %By signing below the consultant affirms that: The consultant understands that the use of the specific firms for the items of work listed above is a condition ofcontract award. The consultant attests that the information above is true and understand that a fraudulent misrepresentation or failure to meet thesecommitments may result in the withholding of progress payments, reduction of prequalification status, referral of the matter to the Office of Inspector General ofUS DOT, and/or other contractual remedies. The consultant attests understand that any modification to this Anticipated Participation Plan for Task Ordersrequires approval from CDOT and will only be approved upon demonstration of good cause.I, , am the of .(Name)(Title)(Consultant Company Name)(Signature)(Date)8

Project Name:COLORADO DEPARTMENT OF TRANSPORTATIONGOOD FAITH EFFORTS REPORTInstructions: Complete this form only if the DBE goal and/or Small Business Targets have not been met.Section 1. Consultant Information.Consultant:Contact Name:Contact E-Mail:Consultant is an ESB:Consultant is a DBE:Contact Phone #:Section 2. Efforts to Achieve DBE/ESB Participation.a.Describe your good faith efforts to meet the contract goal and describe why the goal could not be reached.b.If you are making a Good Faith Efforts Report for a task order, please include participation achieved on the overall contract and any planned participation for futuretask orders to meet the contract goal.Section 3. Affidavit of Good Faith Efforts.By signing below, the consultant hereby affirms that it has made good faith efforts and has documented all such efforts in this form and the attached supportingdocumentation.I, , am the of .(Name)(Title)(Company)(Signature)(Date)9

a. The Affidavit of Small Business Participation is the Consultant's contractually binding commitment and must be submitted with the Consultant's statement of interest proposal. Failure to submit the Affidavit of Small Business Participation will result in the Consultant being deemed non-responsive and ineligible for award.